March 11, :30 – 2:10 1

Agenda Introduction and Approach1:30 – 1:35 Current Research Administration Landscape1:35 – 1:45 Award Lifecycle - Idea to Award1:45 – 2:05 Questions2:05 – 2:10 2

Objectives Develop a high-level understanding of the sponsored award lifecycle and best practices to enable efficient pre and post award operations Provide a brief background of the award lifecycle, importance of sound monitoring by both central and department offices and insight into the risks of poor research administration management Goal Approach 3

Current Research Administration Landscape 4

5  Volume of activity  Increased Complexity  Scrutiny  Large investments in facilities  Accountability  Pressure  Reduce administrative cost  Super Circular!

1.The American Association for the Advancement of Science (AAAS) 2.Kaiser, Jocelyn, “Darwinism vs. Social Engineering at NIH.” Science Magazine, Volume November NIH Budget Doubling Post Doubling Era Including ARRA

7 Sources: NIH Office of Extramural Research

8 Sources: CSU Financial Services

9 Source: Department of Health and Human Services Office of the Inspector General Semiannual Report to Congress

Areas of Current Compliance Emphasis 10 Fiscal Cost Transfers Clinical Trial Billing Cost sharing Direct charging practices Effort reporting Financial reporting Program income reporting Recharge centers Subrecipient Monitoring Unallowable costs Research Animal subject protections (IACUC) Human subject protections (IRB) Conflicts of interest Environmental health & safety Export Controls Invention disclosure & reporting Scientific overlap Scientific misconduct Other support

Significant Audits/Settlements University A Misuse federal funds $32 million University B Inflated research grant costs $15.5 million Foundation E Mischarging federal grants $6.5 million University F Committed Time/Effort $5 million University G Clinical Research Issues $4.4 million University I Costing Issues Self-Reported $3.25 million University K Questioned Costs HHS/OIG Audit $2.4 million University C Effort Certification & Direct Costs $11.5 million University H Effort Certification & Clinical Research Billing $3.4 million University D Mischarging federal grants $7.6 million University J Effort Certification $2.7 million 11

12 How can an institution stay ahead of the trends and remain compliant? Begin by understanding the award lifecycle and the requirements to support successful research administration

The Award “Lifecycle” From Idea to Award 13

Sponsor Reports & Close-out Tracking & Accounting Spend Money & Purchasing Locate Funding & Develop Proposal Establish Project Accounts & PI Briefing Proposal Submission Proposal Review & Institutional Approval Not Funded: Reviewer’s Comments & Resubmit Funded: Award’s Terms & Conditions Pre-AwardPost-Award Additional Funding 14

Sponsor Reports & Close-out Tracking & Accounting Spend Money & Purchasing Locate Funding & Develop Proposal Establish Project Accounts & PI Briefing Proposal Submission Proposal Review & Institutional Approval Not Funded: Reviewer’s Comments & Resubmit Funded: Award’s Terms & Conditions Pre-AwardPost-Award Additional Funding 15

Typical Proposal Elements 16

17 Facilities & Administrative Costs Alteration & Renovation Costs Budget Development Personnel Costs Equipment Subcontracts & Consultants Supplies Travel Other Costs Common Budget Elements

Sponsor Reports & Close-out Tracking & Accounting Spend Money & Purchasing Locate Funding & Develop Proposal Establish Project Accounts & PI Briefing Proposal Submission Proposal Review & Institutional Approval Not Funded: Reviewer’s Comments & Resubmit Funded: Award’s Terms & Conditions Pre-AwardPost-Award Additional Funding 18

Sponsor Reports & Close-out Tracking & Accounting Spend Money & Purchasing Locate Funding & Develop Proposal Establish Project Accounts & PI Briefing Proposal Submission Proposal Review & Intuitional Approval Not Funded: Reviewer’s Comments & Resubmit Funded: Award’s Terms & Conditions Pre-AwardPost-Award Additional Funding Managing an award 19

Regulations Governing Sponsored Research OMB Circular A-21: principles for determining costs applicable to grants, contracts, and other agreements with educational institutions OMB Circular A-110: standards for obtaining consistency and uniformity among federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations OMB Circular A-133: standards for obtaining consistency and uniformity among federal agencies for the audit of organizations expending federal awards 20

Cost Principles- A 21 Costs that do not meet these standards should not be paid for by the project Definition Items not restricted by federal regulations (such as OMB A-21) or the specific grant Goods or services acquired and amount involved reflect an action a “prudent person” would have taken Benefits the project that was charged Like costs in similar instances need to be treated consistently throughout the institution Term Allowable Reasonable Allocable Treated Consistently 21

22 How can an institution stay ahead of the trends and remain compliant? 1. Stay current with compliance issues/topics in research administration 2. Understand the complexities/challenges of research administration at your institution 3. Build an infrastructure that will support research administration in your institution

Thank you! Nate Haines Alison Sanders 23